Hugo Armando Padilla

CRD 5505488 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Hugo Padilla

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 3SIESeries 7Series 10Series 9Series 30Series 4Series 66
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 17
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Los Angeles, CA · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
Los Angeles, CA · IA capacity

Jun 24, 2024 → Jan 19, 2026
Ubs Financial Services Inc.
Los Angeles, CA · BC capacity

Jun 24, 2024 → Jan 19, 2026
Morgan Stanley
Los Angeles, CA · IA capacity

Jan 17, 2023 → Jun 25, 2024
Morgan Stanley
Los Angeles, CA · BC capacity

Jan 17, 2023 → Jun 25, 2024
Wells Fargo Clearing Services, LLC
Greenwood Village, CO · IA capacity

May 10, 2016 → Jan 25, 2022
Wells Fargo Clearing Services, LLC
Greenwood Village, CO · BC capacity

May 10, 2016 → Jan 25, 2022
Tradeking
Fort Lauderdale, FL · BC capacity

Sep 17, 2012 → May 2, 2016
Zecco Trading, Inc.
Glendale, CA · BC capacity

Oct 23, 2009 → Dec 20, 2012
Ameriprise Financial Services, Inc.
Long Beach, CA · IA capacity

Jul 17, 2008 → Mar 4, 2009
Ameriprise Financial Services, Inc.
Long Beach, CA · BC capacity

Jul 17, 2008 → Mar 4, 2009

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 5505488 ↗ FINRA BrokerCheck record for CRD 5505488 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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